James R. Moore

ASCENSUS INVESTMENT ADVISORS

Denver, CO

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CRD#: 3264720

Professional summary

James Ryan Moore is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Denver, Colorado and ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

As part of the individuals job responsibilities, the individual may also offer insurance products through the firm or its affiliates.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ryan Moore's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 21, 2024 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

Denver, CO

Current

March 11, 2024 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746

CRD#: 36478

Lake Mary, FL

Past

November 14, 2023 - February 5, 2024

TANDEM WEALTH ADVISORS

RIA

CRD#: 157794

DENVER, CO

Past

December 22, 2022 - February 21, 2023

BENETIC MARKETS LLC

CRD#: 309974

FRANKLIN, TN

Past

July 7, 2021 - April 1, 2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

March 28, 2016 - December 31, 2020

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

November 18, 2013 - September 8, 2015

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

February 17, 2012 - January 3, 2013

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

May 23, 2008 - February 14, 2012

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

CENTENNIAL, CO

Past

October 29, 2004 - January 22, 2008

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

ATLANTA, GA

Past

October 29, 2004 - January 22, 2008

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

ATLANTA, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/11/2024)

Arkansas
(3/11/2024)

Colorado
(8/12/2025)

Florida
(3/11/2024)

Georgia
(3/11/2024)

Kansas
(8/12/2025)

Louisiana
(3/11/2024)

IAR

Massachusetts
(3/21/2024)

Mississippi
(3/11/2024)

Missouri
(8/12/2025)

Nebraska
(8/12/2025)

New Mexico
(3/11/2024)

Oklahoma
(3/11/2024)

Tennessee
(3/11/2024)

Texas
(3/11/2024)

Wisconsin
(8/12/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/14/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/28/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

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Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

Phone number

(617) 454-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 11,649,896,048

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
01/30/2024	Cover Page	Report
01/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James R. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ryan Moore's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

TANDEM WEALTH ADVISORS

BENETIC MARKETS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

MML DISTRIBUTORS, LLC

CUNA BROKERAGE SERVICES, INC.

DWS DISTRIBUTORS, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/14/2023

Series 63

Date: 12/9/2004

SIE

Date: 10/1/2018

Series 6

Date: 10/28/2004

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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